J.P. Morgan SIPP Transfer Form. 1. About you. 2. Tax residency

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1 J.P. Morgan SIPP Transfer Form Valid from September 2014 Please complete this form in BLOCK LETTERS and black ink, and return it to: Freepost RTJH-BXTT-RHCJ, J.P. Morgan Asset Management, 60 Victoria Embankment, London EC4Y 0JP. If you have any questions regarding this form please call our UK-based Investor Services team on Our telephone lines are open Monday to Friday, 9am to 5.30pm. There are two parts to the SIPP Transfer Form and you need to complete and sign both parts: Part One This is your instruction for us to open your J.P. Morgan SIPP. Part Two We forward this part to your existing SIPP provider to instruct them to provide us with information about your pension. We will be unable to process your application if this form has not been fully completed. If the form has not been completed, we will need to return this to you for completion. 1. About you If you are transferring in a pension from which you are already receiving benefits, please complete a J.P. Morgan SIPP - Drawdown Pension transfer form, instead of this form. If you are a legal guardian completing this form on behalf of an individual under age 18, the details given below should relate to the child. A Legal Guardian Details & Declaration Form must also be completed. Your title (e.g. Mr/Mrs/Miss/Ms/Other) Surname First name(s) in full Your status Please indicate your status by ticking one of the boxes below. If more than one category is applicable, tick the category which is your main source of income. Employed Other Job title (if relevant) Pensioner Self-Employed Child under the age of 16 Other If you ticked Other please tick the category which best describes your status. Caring for one or more children aged under 16 In full time education Caring for a person aged 16 or over Unemployed Existing customer relationship Your existing account number (if you have one) Are you an existing J.P. Morgan Classic Account customer? Yes No If yes, please enter your Classic Account Number(s) here As the J.P. Morgan SIPP is only available via J.P. Morgan WealthManager +, please contact us on before you complete this transfer to discuss your options. Your details Your permanent residential address Country Male Marital status Single Female Telephone numbers (please provide country code if outside the UK) Daytime telephone number + Evening telephone number Country code + Your date of birth (Day/Month/Year) City/town of birth 1 9 Are you a UK citizen? YES NO If you are a citizen of any other country, please provide country name below: Married Country of birth Civil partnership Employer (if relevant) Expected retirement date You may choose to take benefits from your J.P. Morgan SIPP from age 55. If you do not enter an expected retirement date we will assume it to be on your 65th birthday or if you are already 65, your 75th birthday. We will be unable to process your application if this section has not been fully completed. Online access To allow you to access your account online please provide an address that is unique to you as an individual. You will receive your username and password separately by post. address 2. Tax residency Tax Regulations A require us to collect information about each investor s tax residency. In certain circumstances we may be obliged to share information on your account with HMRC. If you have any questions about your tax residency, please contact your tax advisor. Should any information provided change in the future, please ensure you advise us of the changes promptly. Account holder: Are you a UK tax resident? Yes No Please note, if you are not a UK tax resident, you cannot open a J.P. Morgan SIPP. Do you have a National Insurance Number? Yes No If yes, please enter your National Insurance Number here Please indicate if there is any other country in which you are resident for tax purposes and the associated Tax Identification Number below. If you are a US citizen or tax resident, you are not eligible to open this account. Additional Country of tax residence Tax identification number Divorced Widowed Other

2 J.P. Morgan SIPP Transfer Form (Part One) 2. Tax residency (continued) A The term tax regulations refers to regulations created to enable automatic exchange of information and include FATCA B, various agreements to improve international tax compliance entered into between the UK and its Crown Dependencies and its Overseas Territories and the OECD Common Reporting Standard for Automatic Exchange of Financial Account Information B The term FATCA refers to The Foreign Account Tax Compliance provisions contained in the US HIRE Act 2010 and other relevant legislation implementing FATCA under local law. 3. Details of the pension scheme you are transferring from Name of pension scheme Your account or policy number Type of Scheme, e.g. Stakeholder/FSAVC etc Pension provider Provider s address Country Please note: We cannot give advice on the suitability of transferring any pension funds to the J.P. Morgan SIPP. We therefore strongly recommend that you take financial advice before transferring in pension funds. Please note, we reserve the right to reject pension transfers and we will not accept any transfers into the J.P. Morgan SIPP that include any form of Guaranteed Benefits. 4. Pension transfer Please indicate how you want to transfer your investments and complete the relevant section below: Only investments which are available within the J.P. Morgan WealthManager + Investment Range can be transferred in-specie. As part of the transfer process, investments which are not available will be identified. You will be given the opportunity to choose other investments from J.P. Morgan WealthManager + Investment Range and/or transfer as cash to invest later. Any cash balance on your account can also be transferred. Cash In-specie (the transfer of assets in their current form) IF TRANSFERRING IN CASH Please select the A) Funds (OEIC investments), B) Investment trusts you wish to invest in and the proportion(s) to be allocated in the lists below, including the proportion to remain as cash. The full range of J.P. Morgan WealthManager + investments including investments from other fund management groups and FTSE investments are available online. A) Funds (OEIC investments) Before investing in a sub-fund(s) you must receive and read the Key Investor Information Document (KIID), which contains important information about the sub-fund. To receive the KIID(s) you require for your chosen sub-fund(s) either visit call our UK-based Investor Services team on or contact your Financial Adviser. Funds Share Class A Sub-Fund name JPM America Equity JPM Asia JPM Balanced Managed JPM Cautious Managed JPM Diversified Real Return JPM Emerging Markets JPM Emerging Markets Income JPM Europe JPM Europe Dynamic (ex-uk) JPM Europe Dynamic (ex-uk) (GBP Hgd) JPM Fusion Balanced JPM Fusion Conservative JPM Fusion Growth JPM Fusion Growth Plus JPM Fusion Income JPM Global Allocation JPM Global Consumer Trends JPM Global Equity JPM Global Equity Income JPM Global Equity Income (GBP Hgd) JPM Global (ex-uk) Bond JPM Global Financials JPM Global High Yield Bond JPM Global High Yield Bond Monthly JPM Global Property Securities JPM Income JPM Japan JPM Multi-Asset Income JPM Multi-Asset Income Monthly JPM Multi-Asset Macro JPM Multi-Manager Growth JPM Natural Resources JPM New Europe JPM Sterling Corporate Bond JPM Sterling Liquidity B (acc.) (SICAV) JPM Strategic Bond JPM UK Active Index Plus JPM UK Dynamic JPM UK Equity & Bond Income JPM UK Focus JPM UK Higher Income JPM UK Managed Equity JPM UK Strategic Equity Income JPM UK Strategic Growth JPM US JPM US Equity Income JPM US Equity Income (GBP Hgd) C Inc Acc Percentage (minimum 500 per fund) C Total net amount C If the fund you wish to invest in is not shown in the list above please enter the fund name in the space provided above.

3 J.P. Morgan SIPP Transfer Form (Part One) J.P. Morgan Investment Trusts Please state the trust(s) in which you wish to invest. Percentage B) Investment trusts (minimum 500 per fund) American Asian Brazil Chinese Claverhouse Elect Managed Growth Elect Managed Income Emerging Markets European Growth European Income European Smaller Companies Global Convertibles Income Global Emerging Markets Income Income & Capital ORDINARY Income & Capital UNITS Income & Capital ZEROS Income & Growth CAPITAL Income & Growth INCOME Income & Growth UNITS Indian Japanese Japan Smaller Companies Mercantile Mid Cap Overseas Russian Securities Senior Secured Loan Smaller Companies US Smaller Companies D D 6. Nomination of beneficiaries Please complete the details below as it will help us make prompt payment in the event of your death. Please ensure that the total percentage of your remaining pension fund to be used to provide a death benefit payment(s) equals 100%. Beneficiary 1 Title and full name Address Country (If not within the UK) Relationship to Applicant Beneficiary date of birth (Day/Month/Year) Beneficiary 2 Title and full name Address Country (If not within the UK) Relationship to Applicant Beneficiary date of birth (Day/Month/Year) Beneficiary 3 Title and full name Address Percentage of fund Percentage of fund Total % D If the trust you wish to invest in is not shown in the list above please enter the trust name in the space provided. Country (If not within the UK) Cash % to remain in cash % Beneficiary date of birth (Day/Month/Year) 5. Distributions and dividends Please indicate below where you want distributions and dividends to be paid. This instruction will apply to all investments held within your J.P. Morgan SIPP. Reinvest distributions and dividends in additional shares of the same investment Add the cash to my J.P. Morgan SIPP Please note, you cannot withdraw cash from your J.P. Morgan SIPP unless you are taking benefits. Relationship to Applicant Please continue on a separate sheet of paper, if necessary. Further information Percentage of fund If you have a discretionary trust in place you may include it as one of your beneficiaries. You can include nominations to charities Making changes We recommend that you review your nomination regularly, particularly if either your circumstances, or those of your Beneficiaries, change. You may alter your nomination at any time online or by providing written details to us at the address shown at the top of this form.

4 J.P. Morgan SIPP Transfer Form (Part One) 7. Your signature and declaration J.P. Morgan SIPP Declaration To: J.P. Morgan Trustee & Administration Services Limited ( the SIPP Trustee and Scheme Administrator ) A. I declare that: (i) I have read and agree to the J.P. Morgan SIPP Terms and Conditions. (ii) I have received and read the relevant Key Investor Information Document (KIID). (iii) The total contributions to any registered pension schemes in respect of which I am entitled to receive tax relief under section 188 of the Finance Act 2004 will not exceed the higher of the basic amount (currently 3,600 in each tax year) or my relevant UK earnings within the meaning of section 189 of the Finance Act 2004 for the relevant tax year. (iv) To the best of my knowledge and belief, the particulars set out in section 1 of this application are correct and complete; and the declaration set out at paragraph (iii) above is correct. (v) I will give you notice if any event occurs as a result of which I will no longer be entitled to tax relief for my contributions pursuant to section 188 of the Finance Act I will give the notice no later than on 5th April in the year of assessment in which the event occurs or, if later, within 30 days after the occurrence of that event. (vi) I am 18 years of age or over. (vii) I am resident in the United Kingdom for tax purposes or, if not so resident, either perform duties which, by virtue of Section 28 of the Income Tax (Earnings & Pensions) Act 2003 (Crown employees serving overseas), are treated as being performed in the United Kingdom, or I am married to, or in a civil partnership with, a person who performs such duties. (viii) I agree to inform you immediately of any change in my circumstances affecting any of the information in this form, in particular any changes to the information I have provided relating to my tax residency. J.P. Morgan Asset Management is unable to assess or provide advice on the suitability of this product for you or your individual circumstances, and therefore you will not benefit from the investor protections under the Financial Conduct Authority (FCA) rules on assessing suitability. If you have any questions about the suitability of this investment for you and would like to benefit from the additional protections provided under the FCA s rules on suitability, then please contact your Financial Adviser. We d like to keep you informed If you would like us to contact you about relevant news, offers and new fund launches, please tick the box. We promise to only contact you about products and services that we believe may be of interest to you. Your signature Date (Day/Month/Year) Notes J.P. Morgan Asset Management does not accept transfers in from certain types of pension scheme. We will notify you if we are unable to accept your transfer application. Financial adviser Financial Adviser s stamp (ix) I declare that the information provided on this form is to the best of my knowledge and belief, accurate and complete. (x) I confirm that I am not a US or Canadian Citizen/resident and neither hold nor will invest in a SIPP for another US or Canadian citizen/resident. (xi) I agree that you will carry out my instructions to buy and sell investments in accordance with your Order Execution Policy (details of which are set out in the Terms and Conditions) and also consent that certain orders may be executed outside a regulated market or a multilateral trading facility. B. I authorise the SIPP Trustee and Scheme Administrator: (i) to hold cash subscriptions, SIPP investments, interest, dividends and any other rights or proceeds in respect of those investments and any other cash received on account of my SIPP, FCA number Agent number (Please note, no financial adviser commission is payable through J.P. Morgan WealthManager + ) (ii) to make on my behalf any claims to relief from tax in respect of SIPP investments, This is our standard client agreement upon which we intend to rely. For your own benefit and protection you should read these terms carefully before signing them together with the separate Key Features and Terms and Conditions document and for OEIC investments the KIID or for Investment Trusts the Investment Trust Profiles document. If you do not understand any point please ask for information. If investing via a financial adviser, I understand that my financial adviser will have online access to view my account and documents. Please note all correspondence should be sent to the address shown at the top of the application and not to the registered address. Telephone calls may be recorded and monitored for security and training purposes. J.P. Morgan Trustee & Administration Services Limited is authorised and regulated by the Financial Conduct Authority. Registered Office: 25 Bank Street, Canary Wharf, London E14 5JP. Registered in England No GB H /14

5 J.P. Morgan SIPP Transfer Form Letter of Authority (Part Two) To be completed by the investor 1. About you Your existing J.P.Morgan account number (if you have one) Your title (e.g. Mr/Mrs/Miss/Ms/Other) Surname 3. Pension transfer Please accept this as my authority to provide J.P. Morgan Asset Management with any information they require about my membership of the above scheme. Your signature First name(s) in full Your permanent residential address Date (Day/Month/Year) Daytime telephone number Your date of birth (Day/Month/Year) National Insurance Number 2. Details of the pension scheme you are transferring from Name of pension scheme Your account or policy number Type of Scheme, e.g. Stakeholder/FSAVC etc Pension provider Provider s address Country

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